Dubai Financial Services Authority CPD Requirements

Senior Executive Officer's (SEOs), Compliance Officer (COs) and Money Laundering Reporting Officers (MLRO) of DFSA authorised firms must complete a CPD requirement of 15 hours’ structured activity per year. This...

FCA and the SM&CR – Some Practical Thoughts

As the FCA has announced the near-final rules and the implementation date for the Senior Managers and Certification Regime (SM&CR), this article contains some practical thoughts, based on experience of...